Investment Banking Transactions

	Date	Client	Type	Sub-Type	Amt.	Logo	Sector/Sub-Sector	Description	Tombstone Description	PSC Role
Published	12/23/2020	First Trust Corporation	Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing	Subordinated Debt	$21.0 Million	Image	Financial Services, Depositories	Piper Sandler served as sole placement agent for First Trust Corporation on a $21.0 million offering of 5.50% fixed-to-floating rate subordinated notes due in 2030	Subordinated Debt	Sole Placement Agent
Published	12/23/2020	Medallion Financial Corp.	Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing	Senior Unsecured Debt	$33.6 Million	Image	Financial Services, Depositories	Piper Sandler served as lead placement agent for Medallion Financial Corp. on a $33.6 million offering of 7.50% fixed rate senior unsecured notes due in 2027	Senior Unsecured Debt	Joint Placement Agent
Published	12/22/2020	CBC Bancorp	Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing	Subordinated Debt	$25.0 Million	Image	Financial Services, Depositories	Piper Sandler served as sole placement agent for CBC Bancorp on a $25.0 million offering of fixed-to-floating rate subordinated notes due in 2030	Subordinated Debt	Sole Placement Agent
Published	12/22/2020	AWP, Inc.	Mergers & Acquisitions	Sell-Side		Image Image Image	Services & Industrials, Facility Services	Piper Sandler served as sell-side advisor for AWP, Inc., a portfolio company of The Riverside Company, on sale to Kohlberg & Company	AWP, Inc., a portfolio company of The Riverside Company, has been acquired by Kohlberg & Company	Financial Advisor
Published	12/22/2020	Peapack-Gladstone Financial Corp.	Debt Capital Markets - Depositories, Real Estate & Financial Services, Financing	Subordinated Debt	$100.0 Million	Image	Financial Services, Depositories	Piper Sandler served as lead placement agent for Peapack-Gladstone Financial Corporation on a $100.0 million offering of 3.50% fixed-to-floating rate subordinated notes offering due in 2030	Subordinated Debt	Joint Placement Agent
Published	12/21/2020	eMDs Holdings Inc.	Mergers & Acquisitions	Sell-Side	$240.0 Million	Image Image Image	Healthcare, Information-Driven Healthcare	Piper Sandler served as sell-side advisor for MDs Holdings, Inc., a portfolio company of Marlin Equity Partners, on sale to Compugroup Holding USA	MDs Holdings, Inc., a portfolio company of Marlin Equity Partners, has been acquired by Compugroup Holding USA	Financial Advisor
Published	12/18/2020	Obsidian Insurance Holdings, Inc.	Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services	Senior Unsecured Debt	$20.0 Million	Image	Financial Services, Insurance	Piper Sandler served as lead placement agent for Obsidian Insurance Holdings, Inc. on a $20.0 million offering of 6.50% fixed rate senior unsecured notes due in 2025	Senior Unsecured Debt	Lead Placement Agent
Published	12/18/2020	DynaGrid Holdings, LLC	Mergers & Acquisitions	Sell-Side		Image Image Image	Energy, Power & Infrastructure, Energy & Power Infrastructure, Energy & Power Services & Equipment	Piper Sandler & Co. served as sell-side advisor for DynaGrid Holdings LLC, a portfolio company of CIC Partners, on sale to Brown Brothers Harriman Capital Partners. DynaGrid is the one of the largest independent providers of comprehensive transmission sub-grade and sitework services to electric utilities in Texas and surrounding states	DynaGrid Holdings LLC, a portfolio company of CIC Partners, has been acquired by Brown Brothers Harriman Capital Partners	Financial Advisor
Published	12/17/2020	Gamida Cell Ltd.	Financing, Equity Capital Markets	CMFO	$74.5 Million	Image	Healthcare, Biopharma	Piper Sandler served as left bookrunner for Gamida Cell Ltd. on a confidentially marketed follow-on offering	Confidentially Marketed Follow-On Offering	Left Bookrunner
Published	12/16/2020	Ondot Systems, Inc.	Mergers & Acquisitions	Sell-Side		Image Image	Financial Services, FinTech	Piper Sandler served as as sell-side advisor for Ondot Systems, Inc. on sale to Fiserv, Inc.	Ondot Systems, Inc. has has been acquired by Fiserv, Inc.	Financial Advisor
Published	12/16/2020	Midwest Holding Inc.	Equity Capital Markets, Financing	IPO	$70.0 Million	Image	Financial Services, Insurance	Piper Sandler served as sole bookrunner for Midwest Holding Inc. on its initial public offering	Initial Public Offering	Lead Bookrunner
Published	12/15/2020	Ocular Therapeutix, Inc.	Financing, Equity Capital Markets	Follow-On Offering	$92.1 Million	Image	Healthcare, Biopharma	Piper Sandler served as bookrunner for Ocular Therapeutix, Inc. on a follow-on offering	Follow-On Offering	Active Bookrunner
Published	12/15/2020	Arvinas	Financing, Equity Capital Markets	Follow-On Offering	$459.9 Million	Image	Healthcare, Biopharma	Piper Sandler served as bookrunner for Arvinas, Inc. on a follow-on offering	Follow-On Offering	Active Bookrunner
Published		Unum Group	Mergers & Acquisitions	Division Carve Out		Image Image	Financial Services, Insurance	Piper Sandler served as financial advisor to Unum Group in their announced agreement to sell Unum's Medical Stop Loss Business to The Amyntra Group	Unum Group has announced the sale of its Medical Stop Loss Business to The Amynta Group	Financial Advisor
Published			Mergers & Acquisitions	Fairness Opinion		Image	Financial Services, Depositories	Piper Sandler served as sell-side advisor and provided a fairness opinion to Greenwoods Financial in the announced acquisition by Christopher M. George	Greenwoods State Bank has announced to be acquired by Christopher M. George	Financial Advisor
Published		Pinstripes	Mergers & Acquisitions	Minority Investment		Image	Consumer, Restaurants	Piper Sandler served as financial advisor for Pinstripes on receiving of a growth capital investment		Financial Advisor
Published		Evans Bancorp Inc.	Mergers & Acquisitions	Sell-Side	$236.0 Million	Image Image	Financial Services, Depositories	Piper Sandler served as sell-side advisor for Evans Bancorp on announced merger with NBT Bancorp	Evans Bancorp has agreed to merge with NBT Bancorp	Financial Advisor
Published			Mergers & Acquisitions	Sell-Side	$267.0 Million	Image Image	Financial Services, Depositories	Piper Sandler served as the sell-side advisor to Piedmont Bancorp in the announced merge with United Bankshares, Inc.	Piedmont Bancorp announced its merge with United Bankshares, Inc	Financial Advisor
Published		Abacus Life, Inc.	Financing, Debt Capital Markets - Depositories, Real Estate & Financial Services	Senior Notes		Image	Financial Services, Diversified Financials	Piper Sandler served as lead bookrunner for Abacus Life, Inc. on a senior notes offering	Senior Notes	Lead Bookrunner
Published		Mondee	Restructuring	Chapter 11 Reorganization		Image	Technology, Internet & Digital Media	Piper Sandler served as advisor to the company in connection with its chapter 11	Chapter 11 Reorganization	Financial Advisor